Once Upon a Farm (OFRM) CEO reports stock, preferred and option holdings
Rhea-AI Filing Summary
Once Upon a Farm, PBC Chief Executive Officer, Co-Founder and Chair John M. Foraker filed an initial statement of beneficial ownership, reporting common stock held both directly and through family trusts as of 02/05/2026. He indirectly owns common stock through the John & Beth Foraker Revocable Trust and several irrevocable trusts for Mary Kate, Patrick, Jack and Caroline Foraker, and directly holds 600,478 shares of common stock. He also has indirect holdings of multiple series of preferred stock, each convertible into common stock at his election and automatically converting into common stock upon the closing of the company’s initial public offering. In addition, he holds employee stock options for 540,654 shares at $4.12 expiring on 05/22/2033 and 286,895 shares at $8.75 expiring on 02/28/2035, which vest in 48 equal monthly installments starting in May 2023 and March 2025, respectively, subject to continued service.
Positive
- None.
Negative
- None.
Insider Trade Summary
14 transactions reported
Mixed
14 txns
Insider
Foraker John M.
Role
See Remarks
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Series A-1 Preferred Stock | -- | -- | -- |
| holding | Series A-2 Preferred Stock | -- | -- | -- |
| holding | Series B-1 Preferred Stock | -- | -- | -- |
| holding | Series B-2 Preferred Stock | -- | -- | -- |
| holding | Series C-1 Preferred Stock | -- | -- | -- |
| holding | Series D Preferred Stock | -- | -- | -- |
| holding | Employee Stock Options (right to buy) | -- | -- | -- |
| holding | Employee Stock Options (right to buy) | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Series A-1 Preferred Stock — 59,092 shares (Indirect, By the John & Beth Foraker Revocable Trust);
Series A-2 Preferred Stock — 133,294 shares (Indirect, By the John & Beth Foraker Revocable Trust);
Series B-1 Preferred Stock — 96,118 shares (Indirect, By the John & Beth Foraker Revocable Trust);
Series B-2 Preferred Stock — 103,037 shares (Indirect, By the John & Beth Foraker Revocable Trust);
Series C-1 Preferred Stock — 57,372 shares (Indirect, By the John & Beth Foraker Revocable Trust);
Series D Preferred Stock — 24,179 shares (Indirect, By the John & Beth Foraker Revocable Trust);
Employee Stock Options (right to buy) — 827,549 shares (Direct);
Common Stock — 886,754 shares (Indirect, By the John & Beth Foraker Revocable Trust);
Common Stock — 72,463 shares (Indirect, By the Mary Kate Foraker Irrevocable Trust);
Common Stock — 72,463 shares (Indirect, By the Patrick Foraker Irrevocable Trust);
Common Stock — 72,463 shares (Indirect, By the Jack Foraker Irrevocable Trust);
Common Stock — 72,463 shares (Indirect, By the Caroline Foraker Irrevocable Trust);
Common Stock — 600,478 shares (Direct)
Footnotes (4)
- F1. The preferred stock of Once Upon a Farm, PBC (the "Issuer") has no expiration date and is convertible at the reporting person's election into the Issuer's common stock. As of the closing of the Issuer's initial public offering, the preferred stock will automatically convert, for no additional consideration, into common stock of the Issuer.
- F2. Represents stock options granted pursuant to the Once Upon a Farm, PBC 2021 Omnibus Incentive Plan.
- F3. Stock options vest and become exercisable in 48 equal monthly installments beginning on May 23, 2023, subject to the reporting person's continued service with the Issuer on each such date.
- F4. Stock options vest and become exercisable in 48 equal monthly installments beginning on March 1, 2025, subject to the reporting person's continued service with the Issuer on each such date.
AI-generated analysis. How Rhea-AI works. Not financial advice.
FAQ
What does John M. Foraker report owning in Once Upon a Farm (OFRM)?
John M. Foraker reports direct ownership of 600,478 shares of common stock and indirect ownership of additional common and preferred stock through the John & Beth Foraker Revocable Trust and several irrevocable family trusts for Mary Kate, Patrick, Jack and Caroline Foraker.
What stock options does John Foraker hold in Once Upon a Farm (OFRM)?
He holds employee stock options for 540,654 shares of common stock at $4.12 expiring on 05/22/2033 and 286,895 shares at $8.75 expiring on 02/28/2035, all granted under the company’s 2021 Omnibus Incentive Plan.
When do John Foraker’s Once Upon a Farm (OFRM) stock options vest?
One option grant vests in 48 equal monthly installments beginning May 23, 2023, and another vests in 48 equal monthly installments beginning March 1, 2025. Each vesting date requires Mr. Foraker’s continued service with Once Upon a Farm.
How are family trusts involved in John Foraker’s Once Upon a Farm (OFRM) holdings?
Indirect holdings are reported through the John & Beth Foraker Revocable Trust and irrevocable trusts for Mary Kate, Patrick, Jack and Caroline Foraker. Each trust holds specified amounts of common or preferred stock, reflecting family-related beneficial ownership structures.
What is the purpose of this Once Upon a Farm (OFRM) Form 3 filing?
The filing serves as an initial statement of beneficial ownership by John M. Foraker as a director and officer. It lists his direct and indirect holdings of common stock, preferred stock and stock options in Once Upon a Farm, PBC as of 02/05/2026.